Compliance, Governance - Associate

iCapital is powering the world’s alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $105 billion in global client assets invested in close to 900 funds, as of December 2021.

iCapital was named Solutions Provider of the Year at the 2020 MMI/Barron’s Industry Awards and selected to the 2018, 2019, 2020 and 2021 Forbes FinTech 50, a list of the top 50 innovative financial technology companies that are transforming finance through technology.

iCapital is seeking a Governance and Marketing Associate to join the Compliance Team. This role will assist with a variety of corporate governance activities both at the firm level and for investment vehicles. This role will conduct compliance marketing materials review on a wide variety of communications.

The ideal candidate is highly organized, willing to learn new things, collaborative, detail-oriented, and possesses excellent communication skills.

• Review new product marketing materials for SEC and FINRA compliance.
• Coordinate with various teams including compliance, marketing, sales, and all applicable business units to timely review and approve all communications.
• Ensure that all communications comply with applicable regulatory guidelines in accordance with SEC and FINRA rules, laws, and regulations.
• Conduct compliance monitoring programs related to marketing materials, updating policies and procedures, and conduct periodic training.
• Work closely with the Compliance team and assist with any other Compliance related functions and ad hoc projects.
• Assist with documenting corporate actions, including minutes, resolutions, consents, governing documents, and certificates.
• Independently maintain, track, and manage entity management systems. Experience with BluePrint, Hcue, or GEMS is a plus.
• Assist in the internal preparation, coordination, and successful execution of fund board and committee meeting materials, minutes, agendas, and tracking of action items.
• Respond to requests for information and documents from the company's internal and external auditors, regulators, and other stakeholders.
• Prepare and maintain powers of attorney, incumbency certificates, and liaise with registered agents to obtain good standings and certified filings from the secretary of state.

• Bachelor's degree; J.D. or equivalent, a plus
• 2+ years of compliance marketing review experience
• Experience in investment or wealth management; fintech industry, a plus
• Proficient in Microsoft Office Suite, including Word, PowerPoint, and Excel
• Excellent presentation and verbal communication skills

iCapital offers a comprehensive benefits package that includes a competitive total compensation program consisting of salary, equity for all full-time employees, annual performance bonus, and an employer matched retirement plan; generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling; unlimited paid time off (PTO) and parental leave. 

As we re-enter our offices, iCapital offers most employees the flexibility to work in the office three to four days and remotely for the remainder of the week.  Every department has different needs, and some positions will be designated in-office jobs, based on their function.

This role will be located in either our New York, NY office or our Greenwich, CT office.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us  Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.